MF
Matthew M. Foley
FIFTH THIRD SECURITIES
Highland Heights, KY 41076
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CRD#: 1358440
MF
Professional summary
Matthew Mavor Foley, CFP®, who also goes by Matt Foley, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Highland Heights, Kentucky.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Matthew has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Investment Planning
Estate Planning
Insurance Planning
Are you a "fiduciary"?
Yes
Aliases
Matt Foley
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Mavor Foley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Mavor Foley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2015
Experience
Current
March 19, 2008 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 2700 Alexandria Way, Highland Heights, KY 41076RIA
BD
CRD#: 628
Highland Heights, KY
Current
March 19, 2008 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 2700 Alexandria Way, Highland Heights, KY 41076RIA
BD
CRD#: 628
Highland Heights, KY
Past
April 3, 2006 - March 7, 2008
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
CRESTVIEW HILLS, KY
Past
April 19, 2004 - March 7, 2008
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
CRESTVIEW HILLS, KY
Past
November 2, 1999 - August 24, 2001
TOUCHSTONE SECURITIES, LLC
BD
CRD#: 1526
CINCINNATI, OH
Past
December 24, 1996 - October 29, 1999
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
December 24, 1996 - October 29, 1999
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
April 26, 1988 - December 16, 1994
FINANCIAL HORIZONS SECURITIES CORPORATION
BD
CRD#: 20221
Past
November 13, 1986 - June 27, 1988
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
Past
May 31, 1985 - June 25, 1986
PW SECURITIES, INC.
BD
CRD#: 6775
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FIFTH THIRD SECURITIES, INC.
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
RIA
Registered Investment Advisory firm - SEC (11/17/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/19/2020)
RR
Colorado(1/31/2011)
RR
Florida(3/19/2008)
RR
Georgia(10/22/2010)
RR
Illinois(7/25/2013)
RR
Indiana(3/19/2008)
RR
Kentucky(3/19/2008)
IAR
Kentucky(3/19/2008)
RR
Louisiana(3/19/2008)
RR
Mississippi(3/30/2023)
RR
New York(10/16/2009)
RR
Ohio(3/19/2008)
RR
South Carolina(9/17/2015)
RR
South Dakota(7/1/2025)
RR
Texas(6/30/2016)
RR
Virginia(2/16/2016)
RR
West Virginia(11/19/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FIFTH THIRD SECURITIES, INC.
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
RIA
Registered Investment Advisory firm - SEC (11/17/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
34 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263
Mailing Address
38 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263
Phone number
(888) 889-1025
Established
Ohio since 05/01/1925
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,349
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 43,067 |
| AUM (Assets Under Management) | $ 9,127,646,064 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
